Stephanie J. Reid

BARCLAYS CAPITAL

New York, NY 10019

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CRD#: 6491837

Professional summary

Stephanie Jane Reid, who also goes by Stephanie J Reid, is a registered financial professional currently at BARCLAYS CAPITAL INC. located in New York, New York.

Stephanie is registered as a RR (Registered Representative) and started their career in finance in 2015. Stephanie has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephanie J Reid

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephanie Jane Reid's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 20, 2021 - Present

BARCLAYS CAPITAL INC.

Office #1: 745 7th Avenue, New York, NY 10019

CRD#: 19714

New York, NY

Past

October 29, 2015 - October 9, 2020

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(9/20/2021)

Exams

State Security Law Exam

Series 63

Date: 8/3/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 10/29/2015

Investment Banking Registered Representative Examination

SRO Registrations

FINRA

Current Firm

BARCLAYS CAPITAL INC.

CRD#: 19714 / SEC#: 801-69700, 8-41342

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

745 7th Avenue, New York, NY 10019-6801

Mailing Address

745 7th Avenue, New York, NY 10019

Phone number

(212) 526-7000

Established

Connecticut since 03/30/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT PHILOSOPHY PORTFOLIO MULTIPLE ACCOUNTS (IPPMA) PROGRAM (10/29/2015)

PORTFOLIO MANAGEMENT PROGRAM (ETF TACTICAL ALLOCATION STRATEGIES) (8/26/2015)

SELECT ADVISORS PROGRAM (8/26/2015)

PORTFOLIO MANAGEMENT PROGRAM (EQUITY AND FIXED INCOME STRATEGIES) (8/26/2015)

ACCOMMODATION MANAGER PROGRAM (8/26/2015)

INVESTMENT ADVISOR REPRESENTATIVE PROGRAM (8/26/2015)

FIRM BROCHURE (8/26/2015)

Direct owners and executive officers

Name	Position	CRD#
BARCLAYS GROUP US INC.	OWNS BARCLAYS CAPITAL INC.
ABREU, JULIAN JAVIER	ROSFP - PRIME SERVICES	5160018
JAISING, RAHUL	ROSFP - PRIME SERVICES	4754959
MATHIS, CAROL PEDERSEN	PRINCIPAL FINANCIAL OFFICER	4322657
MAYER, ANTHONY EDWARD	CHIEF RISK OFFICER	8132690
MOGAVERO, ANDREW MICHAEL	CHIEF EXECUTIVE OFFICER	3247485
O'CONNOR, CLAIRE SCHOLZ	BOARD DIRECTOR	1907247
ROGOFF, BRADLEY WAYNE	HEAD OF RESEARCH	4569545
SMITH, JULIETTE SARA	CHIEF LEGAL OFFICER	5696210
WESTWOOD, JAI	PRINCIPAL OPERATIONS OFFICER	4611538
ZACHARIA, ZACHARIA	CHIEF COMPLIANCE OFFICER	2440444

Disclosures

Regulatory Event	142
Civil Event	4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Stephanie J. Reid

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephanie Jane Reid's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

NATWEST MARKETS SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/2016

SIE

Date: 10/1/2018

Series 79

Date: 10/29/2015

FINRA

Current Firm

BARCLAYS CAPITAL INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BARCLAYS CAPITAL INC.

TRUST BUT VERIFY

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